About the Company
EC Markets is a leading investment and trading services provider, offering clients access to global financial markets through innovative technology and a commitment to regulatory excellence. We specialise in delivering trading solutions across a diverse range of asset classes, including equities, forex, commodities, and derivatives, with a strong focus on transparency, integrity, and client success.
With a client-first approach, we are dedicated to creating a secure and supportive trading environment that meets the highest regulatory standards. Our culture is built on collaboration, accountability, and continuous improvement, ensuring that both our clients and employees benefit from our forward-thinking approach to financial services.
About the Role
We are seeking a highly motivated and detail-oriented Senior Compliance Monitoring Analyst to join our Compliance team. This role will focus on supporting the design, execution, and enhancement of the compliance monitoring framework, ensuring robust oversight of investment compliance and the effective mitigation of regulatory risks.
Responsibilities
* Support the SMF16/17 in delivering all investment compliance oversight activities.
* Assist with compliance monitoring activities, ensuring all evidence, processes, and proposed enhancements are properly documented, escalated, and implemented.
* Conduct regular reviews and updates of compliance policies to ensure they remain current and aligned with regulatory requirements.
* Provide input into compliance change projects and ongoing strategic initiatives.
* Review breaches, operational errors, and incidents, liaising with relevant departments to ensure timely and satisfactory resolution.
* Monitor and oversee Personal Account (PA) dealing requests, as well as Gifts and Entertainment registers.
* Review and approve financial promotions to ensure regulatory compliance.
* Assist in the preparation of compliance-related reports, management information, and presentations for Committees and the Board.
* Support the team with due diligence requests, third-party reviews, and audit engagements.
* Contribute to Anti-Money Laundering (AML) and Financial Crime activities, including ongoing monitoring and escalation processes.
* Ensure adherence to Consumer Duty obligations, embedding processes to achieve positive client outcomes.
Qualifications
* Proven compliance experience within a trading brokerage, ISAs, or SIPPs environment is essential.
* Strong experience of performing monitoring activities, audits, or other review-based functions.
* Solid working knowledge of key regulations and frameworks, including MiFID II, MAR, AML and Financial Crime, Conflicts of Interest, Consumer Duty, and SMCR.
* High level of attention to detail with excellent analytical and problem-solving skills.
* Strong communication and reporting skills, with the ability to effectively liaise with senior stakeholders.
Required Skills
* Proactive and solutions-oriented approach.
* Ability to work both independently and collaboratively within a team environment.
* Strong organisational skills with the ability to manage multiple priorities under tight deadlines.
Preferred Skills
* Experience in compliance monitoring within financial services.
* Familiarity with regulatory reporting requirements.